References:

Purpose:

The purpose of this Program Instruction is to provide State agencies with a modified reporting form (ACF-200) and instructions for submitting their quarterly aggregate data for the third year of the HPB awards (FY 2001).

Background:

Section 403(a)(4) of the Social Security Act makes $1 billion available over a five-year period to reward States that achieve high performance in meeting the purposes and goals of the TANF program. The formulas and measures for the first two years of the HPB awards (FY 1999 and FY 2000) were issued via TANF-ACF-PI-98-1, TANF-ACF-PI-98-5, and TANF-ACF-PI-99-1.

On December 6, 1999, we issued TANF-ACF-PI-99-5, which included the formula specifications for awarding the FY 2001 HPB and the revised time frames for reporting FY 2000 performance data. The formula and outcome measures for the FY 2001 bonus year awards will be substantially the same as those specified in the program instructions for the first and second year bonus awards (TANF-ACF-PI-98-1 and TANF-ACF-PI-98-5). For the FY 2001 awards, however, we have made a change in the definition of a "job retention recipient" and clarified the instructions on several items. We will use the new retention data in the calculations of the retention performance and improvement components of the "Success in the Workforce" measures.

We have included two new items on the reporting form (ACF-200). The first is the total number of unduplicated adult recipients who received at least one TANF payment during the reporting quarter. The second is the total number of adult recipients employed in the reporting quarter and in both the first and second following quarters.

Recent Consultation:

Following the publication of the HPB final rule, we held a series of consultations with the National Governors' Association, the American Public Human Services Association, State representatives, and other interested agencies and organizations on implementation issues and operational specifications for the performance measures under these rules. These consultations included a discussion of whether any of the technical changes reflected in the work measures that are applicable to the FY 2002 and FY 2003 awards should be made applicable to the FY 2001 awards. These changes include the equal weighting of both job retention and earnings gain, i.e., the two components of the success in the workforce measure, and the calculation of improvement as a percentage point change rather than a percentage change. We have decided to make no additional changes in the specifications for the FY 2001 awards.

Action:

In order to compete for the 2001 HPB awards, States must submit an ACF-200 report form showing FY 2000 data for adult recipients in the TANF program. If a State that did not compete for the FY 2000 HPB awards wishes to compete in the improvement measures for the FY 2001 awards, it must also submit FY 1999 data. All States competing in the improvement for the re-defined retention measure must submit FY 1999 data for Item 5(c) on Form ACF-200. As specified in the program instructions for the first and second year bonus awards, if a State claims MOE expenditures under a separate State program (SSP), the State must also submit the information on Sections 1 and 3 of the SSP-MOE Data Report.

We have revised the TANF final rules at §265.3(d)(2) to allow waivers of the SSP-MOE reporting requirements, under limited circumstances. Waivers will be allowed only if the benefits being provided in the SSP were considered assistance under §260.31(a)(3) and the State made a clear case that the cost and burden associated with collection and reporting of the data substantially outweighed any potential benefit. States that wish to be considered for this limited exception will need to provide detailed information about the nature and scope of their SSP for our consideration, along with a detailed explanation of what data cannot be provided and why. We will determine whether the exception is appropriate and, if so, what data must be provided.

We will not waive SSP-MOE requirements for SSPs that provide assistance under §260.31(a)(1) or (a)(2).

Effective Date:

Immediately.

Submission Date:

As specified in TANF-ACF-PI-99-5 dated December 6, 1999, each State competing for FY 2001 HPB awards must submit High Performance Bonus quarterly reports (ACF-200) containing FY 1999 and FY 2000 information on TANF adult recipients by the following dates:

Submittal Date

Quarter

Submittal Date

Quarter 1 (October - December)

November 30, 2000

Quarter 2 (January – March)

February 28, 2001

Quarter 3 (April – June)

May 31, 2001

Quarter 4 (July – September)

August 31, 2001

If a State competing for HPB awards claims expenditures under a separate State program (SSP-MOE) and, if the State has not been granted a reporting waiver, the State must also submit FY 2000 SSP-MOE quarterly information on the ACF-200 report form. In addition, as mentioned earlier, the State must submit FY 2000 quarterly information in Section One and Section Three of the SSP-MOE Data Report (ACF-209) electronically. (See Information Memorandum -- TANF-ACF-IM-99-3, dated August 17, 1999.)

All ACF-200 quarterly reports must be submitted by the above dates to the appropriate Hub/Director/Regional Administrator with a copy to ACF, Office of Planning, Research and Evaluation. All four quarters of FY 2000 SSP-MOE data in Sections One and Three must be submitted electronically only to ACF, Office of Planning, Research and Evaluation, no later than June 30, 2001.

Attachment:

Revised Form ACF-200, TANF High Performance Bonus Report for Fiscal Year 2001, and Instructions.

Inquiries:

Inquiries should be directed to the appropriate Hub/Director/Regional Administrator.

/s/

Samara Weinstein, Acting Director
Office of Family Assistance

Howard Rolston, Director
Office of Planning, Research and Evaluation

TANF High Performance Bonus Report for Fiscal Year 2001

General Instructions:

A State must provide FY 2000 data on all items on Form ACF-200 for the TANF program and, where appropriate, FY 2000 data for the TANF separate State MOE programs (SSP) if they want to compete for the FY 2001 bonuses. If an adult recipient is switched from TANF to SSP or from SSP to TANF during a reporting quarter, the recipient should be reported only as a TANF recipient.

Definitions:

The following definitions apply only to quarterly data on the reporting form.

Adult: The term "adult" means a TANF recipient who has attained 18 years of age or, if attending secondary school as a full-time student, has not attained 19 years of age in the reporting quarter. Adults who are exempt, disabled or sanctioned are included. (See sec. 419 of the Social Security Act.)

Earnings: An adult’s total earnings in a calendar quarter, excluding earnings from workfare or fully subsidized employment. This includes all earnings, regardless of length of time in the quarter the adult had been a recipient. (See definition below for "recipient".)

Earnings Gain: The total earnings in the second following quarter minus the total earnings in the reporting quarter of a recipient employed in both these quarters.

Employed Recipient: An adult recipient who is paid for work performed during the reporting quarter.

Job-Entry: An adult recipient entering employment for the first time in the reporting year. This includes employed adult recipients who were unemployed in the preceding quarter, and employed adult recipients who lost their job and entered new employment in the reporting quarter for the first time in the fiscal year. (No individual may be counted as a job-entry recipient more than once in any fiscal year.)

Job-Retention Recipient: An adult recipient who is paid for work performed in three consecutive calendar quarters, the first of which must be in the reporting quarter, regardless of the number of hours employed or whether or not employed in the same job. [At this point (i.e., second or third quarter) the recipient might be a former recipient].

Note: In any reporting quarter that the recipient is counted as a job entry, the recipient must also be counted as unemployed if the reporting quarter is the first quarter in which the recipient becomes unemployed.

Unemployed Recipient: An adult recipient who has no earned income in the reporting quarter and (a) has no earned income in the preceding quarter and (b) the recipient has not been counted as unemployed in any preceding quarter of the reporting fiscal year. Additionally, a recipient who has earned income in the reporting quarter and has not been counted as unemployed in any previous quarter of the reporting fiscal and is a "job entry" in the reporting quarter.

Note: A "job entry" recipient in the reporting quarter is counted in Item 3 as employed; in Item 4 as a job entry and, if not already counted as unemployed in a preceding quarter of the reporting fiscal year, in Item 2.

Specific Instructions:

The following instructions also apply to adults reported as SSP-MOE recipients on Form ACF-200. Do not include as SSP-MOE recipients those who also received a TANF payment during the reporting quarter:

Item 1. Total number of unduplicated adult recipients who received at least one payment during this quarter.

Enter the unduplicated number of adult recipients who, by the end of this quarter received at least one TANF payment during the quarter.

Note: No recipient may be counted more than once in the reporting quarter.

Item 2. Cumulative number of unduplicated adult recipient who, by the end of this calendar quarter, were unemployed recipients at some point during this fiscal year.

Enter the cumulative number of unduplicated adult recipients who, by the end of this calendar quarter, were unemployed recipients at some point during the fiscal year. Include in this count all "job entry" recipients for the year up through the end of the this quarter (with emphasis). For example, in Quarter 1, Item 2 would be the unduplicated count only for the first quarter; in Quarter 2, Item 2 would be the unduplicated count for the first two quarters; in Quarter 3, it would be the count for the first three quarters; and in Quarter 4, the count for this item would be the total for the fiscal year.

Note: No unemployed adult recipient may be counted more than once in the reporting fiscal year.

Item 3. Total number of unduplicated adult recipients employed at any time during this quarter.

Enter the unduplicated number of adult recipients who worked at any time in this quarter. Duration of employment, amount earned in this quarter, and whether the recipient was employed in any other quarter in the fiscal year, are not relevant.

Item 4. Total number of employed adult recipients in Item 3 who, as a recipient in this quarter, entered employment for the first time this fiscal year.

Enter the number of adult recipients included in Item 3 who, as a recipient in this quarter entered employment for the first time this fiscal year.

Note: First-time employed recipients, i.e. job entries, are both employed and unemployed recipients in the reporting quarter. Those who were not included in Item 2 as unemployed recipients in a previous quarter in this fiscal year must be added to the unduplicated count of unemployed recipients in Item 2.

Item 5. Total number of employed adult recipients in Item 3 who were also employed in:

(a) Following quarter. Enter the number of adult employed recipients included in Item 3 who were employed at any time both in this quarter and in the following quarter. For example, if this was a report for Quarter 3 of FY 2001, enter the number of recipients in Item 3 who were employed in both Quarter 3 and Quarter 4 of FY 2001. [(At this point (i.e., following quarter)], they might be former recipients.)

(b) Second following quarter. Enter the number of adult employed recipients in Item 3 who were employed at any time both in the reporting quarter and in the second following quarter, regardless of their employment status in the first following quarter. For example, if this is a report for Quarter 3 of FY 2001, enter the number of recipients in Item 3 who were employed in both Quarter 3 of FY 2001 and Quarter 1 of FY 2002. The recipient may or may not have been employed in the first following quarter, i.e., Quarter 4 of FY 2001, and might be a former recipient.

(c) Both the first and second following quarters. Enter the number of adult employed recipients in Item 3 who were employed at any time in all three quarters, i.e., the reporting quarter, the first following quarter and the second following quarter.

Note: The number entered in (a), (b) or (c) must be smaller than the number entered in Item 3. For States that use only Unemployment Insurance (UI) files to determine the employment status of recipients, (c) must not be larger than the number entered in either (a) or (b).

Item 6. Total amount of earnings in this quarter of employed adult recipients in Item 5(b).

Enter the total amount of earnings in this quarter (i.e., the reporting quarter) of adult recipients who were employed in both this quarter and the second following quarter. The recipient might not have been employed in the first following quarter.

Item 7. Total amount of earnings in second following quarter of employed adult recipients in Item 5(b).

Enter the total amount of earnings in the second following (with emphasis) quarter of adult recipients who were employed in both this quarter and the second following quarter, regardless of length of time on assistance. (At this point, they might be former recipients.)

Paperwork Reduction Act of 1995

Public reporting for this collection of information is estimated to average 30 hours per response, including the time for reviewing instructions, searching existing sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The current OMB control number is displayed in the lower left-hand corner of the form.